Roger D. Sabbah
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger David Sabbah was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1969. Roger had worked at 13 firms and has passed the PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1997 - April 21, 1998
NATIONAL SECURITIES CORPORATION
January 9, 1997 - September 19, 1997
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
December 4, 1995 - December 12, 1996
H.J. MEYERS & CO., INC.
August 10, 1994 - December 12, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 8, 1994
CITIGROUP GLOBAL MARKETS INC.
October 24, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
June 1, 1989 - November 15, 1991
SUTRO & CO. INCORPORATED
June 28, 1988 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 31, 1985 - June 28, 1988
J.P. MORGAN SECURITIES LLC
May 22, 1984 - November 1, 1985
THE SEIDLER COMPANIES INCORPORATED
October 24, 1979 - April 17, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 19, 1971 - December 19, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
October 20, 1969 - July 5, 1972
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 12/5/1986
AMEX Put and Call ExamSeries 000
Date: 11/17/1967
General Securities Principal ExaminationSeries 1
Date: 10/13/1967
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
